| 23-00239 | 01/23/2024 | Claimant(s): Orlando Perez, Viviana Perez Cordero
Claimant Lawyers(s): Roberto C Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
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| 23-02525 | 01/23/2024 | Claimant(s): Alexander Phillips, Jordan Hayes
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
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| 23-03107 | 01/23/2024 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Saumeu P. Mauch
Respondent(s): Leonardo Hernandez
Respondent Lawyers(s): Leonardo Hernandez
Arbitrator(s): Elizabeth Gilbert
Hearing Site: New York, NY
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| 23-01368 | 01/23/2024 | Claimant(s): William Brown
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James & Associates., Legg Mason Wood Walker, R. H. York & Company.
Respondent Lawyers(s): Laura Ruiz Rivera, Lawrence York, Rosemary Francavilla
Arbitrator(s): Kevin R. Zehe
Hearing Site: Cincinnati, OH
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| 23-01224 | 01/23/2024 | Claimant(s): Jason Franklin
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Leonard & Company
Respondent Lawyers(s): Dainforth French
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Detroit, MI
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| 23-00637 | 01/22/2024 | Claimant(s): Miguel Montejano
Claimant Lawyers(s): Amir Tadjedin
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
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| 22-02791 | 01/22/2024 | Claimant(s): Thomas Curtin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Robert L. Chase
Hearing Site: Hartford, CT
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| 23-01215 | 01/22/2024 | Claimant(s): Brent Turner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): QA3 Financial Corp., Transamerica Financial Advisors
Respondent Lawyers(s): Stephen K. Wild, Susan D. Duff
Arbitrator(s): Karl A. Vogeler
Hearing Site: Nashville, TN
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| 23-01400 | 01/22/2024 | Claimant(s): Roberto Vila
Claimant Lawyers(s): William Bean
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: San Diego, CA
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| 23-02322 | 01/19/2024 | Claimant(s): Elisheva Defeo
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Leslie Blickenstaff
Arbitrator(s): John Thomas Shaban, Edward S. Hill, Peter M Cosel
Hearing Site: Hartford, CT
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